Statement of Changes in Beneficial Ownership (4)
07 Dezember 2021 - 10:16PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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|
| 1. Name
and Address of Reporting Person * Shah
Shefali A |
2. Issuer Name and Ticker or Trading
Symbol Avaya Holdings Corp. [ AVYA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
EVP and CAO |
|
(Last)
(First)
(Middle)
C/O AVAYA HOLDINGS CORP., 2605 MERIDIAN PARKWAY, SUITE
200 |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/3/2021
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|
(Street)
DURHAM, NC 27713
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock - Restricted Stock
Units |
12/3/2021 |
|
M |
|
12744 (1) |
D |
$0 |
89381 (2) |
D |
|
|
Common Stock, par value $0.01 per
share |
12/3/2021 |
|
A |
|
39011 (1)(3) |
A |
$0 |
139385 |
D |
|
|
Common Stock, par value $0.01 per
share |
12/3/2021 |
|
F |
|
6783 (4) |
D |
$19.21 (4) |
132602 |
D |
|
|
Common Stock, par value $0.01 per
share |
12/3/2021 |
|
F |
|
13980 (5) |
D |
$18.57 (5) |
118622 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of
Responses: |
| (1) |
Represents the number of
shares of common stock, par value $0.01 per share of Avaya Holdings
Corp. ("Common Stock"), which vested pursuant to various Restricted
Stock Unit (each, an "RSU") awards. These RSUs were previously
reported on Table I on a Form 4. |
| (2) |
Consists of RSUs previously
reported on a Form 4 in Table I that have not, as of yet, vested in
accordance with their terms. Each RSU represents a contingent right
to receive, at vesting, one share of Common Stock. |
| (3) |
Includes (i) 26,267 shares
of Common Stock granted to the reporting person pursuant to such
person's election, pursuant to the Avaya Holdings Corp. Stock Bonus
Program (the "Stock Bonus Program"), to receive a portion of their
Annual Incentive Bonus award for fiscal 2021 as Common Stock and
(ii) the 12,744 shares issued upon the vesting of RSUs noted in
footnote 1. |
| (4) |
Represents the number of
shares of Common Stock withheld by Avaya Holdings Corp. to cover
tax withholding obligations in connection with the vesting of RSUs.
Pursuant to the terms and conditions of the Avaya Holdings Corp.
2019 Equity Incentive Plan, withholding taxes were calculated based
on the closing price of Common Stock on December 2, 2021, the date
immediately preceding the December 3rd vesting date. |
| (5) |
Represents the number of
shares of Common Stock withheld by Avaya Holdings Corp. to cover
tax withholding obligations in connection with the receipt of
shares pursuant to the Stock Bonus Program. Pursuant to the terms
of the Stock Bonus Program, withholding taxes were calculated based
on the closing price of Common Stock on December 3,
2021. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Shah Shefali A
C/O AVAYA HOLDINGS CORP.
2605 MERIDIAN PARKWAY, SUITE 200
DURHAM, NC 27713 |
|
|
EVP and CAO |
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Signatures
|
|
/s/ Danielle Bagatta, as attorney in fact for
Shefali Shah |
|
12/7/2021 |
| **Signature of
Reporting Person |
Date |
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